Advanced AI: Compliance-Based Considerations and Critical Success Factors for AI Deployment

Compliance teams face increasing demands from regulatory change, expanding data volumes, more complex business models and heightened expectations for evidence and assurance. Artificial intelligence could help compliance professionals research requirements, assess risk, monitor activity, identify themes and produce better management information. However, unreliable outputs, inappropriate data use and weak human oversight could create new regulatory risks.

This practical 90 minute webinar focuses primarily on how compliance professionals can deploy AI within their own department and processes. Participants will examine where AI can improve compliance processes covering regulatory change, risk assessment, monitoring, breach management, policy maintenance and reporting without weakening professional judgement or accountability.

Key Learning Objectives

• Identify high-value applications of AI within Compliance.
• Assess compliance processes and determine where AI could improve efficiency, consistency or insight.
• Define a compliance AI use case, its intended outcomes, users and success measures.
• Evaluate AI applications for regulatory research, rule mapping, advice, monitoring, risk assessment and reporting.

• AI opportunities within the Compliance function

Where AI can support compliance activities and workflows.

Moving from general-purpose tools to defined compliance use cases.

Selecting processes based on value, feasibility, data readiness and risk.

Maintaining professional judgement and regulatory accountability.

• Quality and risk in AI-assisted compliance work

Accuracy, completeness and fabricated regulatory references.

Confidentiality, personal data, information security and access.

Bias, explainability and inappropriate reliance on outputs.

Approved sources, validation, record keeping and audit trails.

Human review, quality assurance and escalation.

• Deployment and oversight critical success factors

Clear process ownership and accountable decision-making.

Controlled testing before wider deployment.

Defined success, quality and risk measures.

Ongoing monitoring, incident management and improvement.

Compliance’s role when other departments deploy AI.

John Paul Danaee, Director of Project Management and Quality at equitably.ai.
Specialises in application of proven quality methods to de-risk and maximise the impact of AI including AI use case and business case development, AI impact assessment, AI risk management and AI programme design and governance. He regularly speaks and writes about AI. He has delivered webinars for Department for Business & Trade, moderated AI panels for Bayes Business School and has been  commissioned by editor of Quality World Magazine to write “a practical guide for using quality competencies in enterprise artificial intelligence: how quality can reduce risks and maximise the impact of artificial intelligence”.

He has 30+ years of experience combining investments, performance improvement and marketing across asset management, financial services and technology internationally (UK, Australia, US, Europe etc.). His investment expertise includes roles covering company stock exchange listings (IPOs) and private equity in HSBC Group and KPMG. He has a master’s in finance and investments and has conducted research into mid-market private equity at Bayes Business School, City University of London, supported by the British Private Equity & Venture Capital Association (BVCA).

He views AI through the prism of performance improvement where he has delivered some 20 enterprise-wide improvement projects and initiatives in companies including mid-market private equity portfolio companies and companies of HSBC Group internationally. He practises agile principles, is certified in LEAN Six Sigma as a Master Black Belt coach and has been admitted as a Chartered Quality Professional by the Chartered Quality Institute.

This course is designed for compliance professionals seeking to deploy AI within their own function while strengthening their ability to advise and challenge the wider business.

It is particularly relevant to:

• Heads of Compliance and SMF16 function holders
• Compliance advisory professionals
• Compliance-monitoring and assurance teams
• Regulatory change and policy specialists
• Conduct-risk and financial-crime professionals
• Compliance operations and transformation teams
• Compliance data, systems and reporting specialists
• Legal, operational-risk and data-protection professionals working closely with Compliance

Participants should have completed introductory AI training or possess equivalent knowledge. No coding or advanced technical experience is required.

£95.00 + VAT

Pay using a credit card online, or if you wish to be invoiced please email your full details to: Training@theia.org

PLEASE NOTE: Full payment for the course must be made prior to the course commencement date.

• Any cancellation must be made in writing.
• For all cancellation received 15-30 days prior to the course start date, 50% of the course fee is still payable.
• No refund is given for a cancellation made 14 days or less prior to the commencement of a course.
• Transferring from one course to another is treated as a cancellation.
• You can substitute one delegate for another at no additional cost. In this instance, please give two business days’ notice.